- Capital One (New York, NY)
- …trading environment. **Responsibilities** **Program Oversight & Governance** + Lead daily surveillance operations for both Broker - Dealer and Swap Dealer ... (SD) businesses. This individual will oversee day-to-day surveillance operations , maintain robust controls around the monitoring of trading...within a Broker - Dealer or Swap Dealer environment. + Relevant certifications ( FINRA Series… more
- Equitable (Charlotte, NC)
- …team. This role is critical in ensuring the effective oversight of outsourced broker - dealer operations , maintaining compliance with regulatory standards, and ... candidate will have a strong background in financial services, particularly within broker - dealer operations , and possess advanced analytical capabilities.… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- Coinbase (Madison, WI)
- …business. This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- Huntington National Bank (Chicago, IL)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst 3 is responsible for supporting institutional broker ... dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational...or comparable experience + Must be able to obtain FINRA SIE and Series 99 within 12 months of… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... Management and Consolidated US Operations (CUSO) Resolution Planning. Reporting directly to the Treasurer,...the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and… more
- Santander US (Miami, FL)
- …will be responsible for the execution of day-to-day controls related to the Broker Dealer . This includes ensuring high service quality, regulatory compliance, ... SEC/ FINRA Regulatory Controls & Operational Oversight - VP...or equivalent work experience 5-10+ Years of relevant experience; Broker Dealer experience. **Certifications:** * Other Risk… more
- SMBC (New York, NY)
- …management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- PNC (Pittsburgh, PA)
- …will be based in Pittsburgh, PA. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- SMBC (New York, NY)
- …Team across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role will ... the team and senior stakeholders across Risk, Compliance, Legal, Operations , and Front Office to maintain strong governance standards...materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight… more
- TD Bank (Marlton, NJ)
- …to obtain additional licensing, as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the...a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services… more
- ADP (Florham Park, NJ)
- …Administrator plays a critical operational and support role within the broker - dealer 's compliance department. This position ensures accurate and timely ... notices of litigation. + Forward checks received by the firm to the designated broker - dealer lockbox. + Serve as the primary liaison for financial account… more
- TD Bank (Hartford, CT)
- …+ 3+ years industry experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of ... **Line of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or...May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards… more
- TD Bank (Vienna, VA)
- …+ 5+ years industry experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of ... **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic...May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards… more
- MUFG (New York, NY)
- …the technical bridge between operations and the technology that powers our broker - dealer settlement engine. This role requires deep expertise in trade flows, ... in broker - dealer back office, financial technology, or equivalent financial operations roles. * Deep knowledge of broker - dealer products (equities,… more
- Scotiabank (Dallas, TX)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment… more
- Wells Fargo (Lincoln, NE)
- …subject to statutory disqualification are not eligible to be associated with a FINRA -registered broker - dealer . Successful candidates must also meet and ... controls, technology and service inquiries from Financial Advisors, Client Associates, Operations and other branch and Support Center employees to resolve complex… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that support the service advisors for our independent advisors and broker - dealer relationships. This role offers exposure to the day-to-day functions ... Division (RCS) serves as a clearing firm for independent broker dealers and as a custodian for independent Registered...functions (Excel, Word, PowerPoint, Visio is a plus). + FINRA and the SEC and how they oversee RIAs… more
- US Bank (St. Paul, MN)
- …experience or direct loan servicing experience **_Preferred Skills/Experience_** + 5+ years of broker dealer securities operations experience ideally in a ... us** USBI is a major underwriter and secondary market dealer and market maker of high grade and high...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more